-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ObFsjvwBMI4PRvRAZ4ZQPzTbPrq4oyBCtafMfZ9j44OgAdc62IoURSEKsbtJGjqb MEWBUQ9qByznfyBYN/3FZw== 0001172661-10-000674.txt : 20101116 0001172661-10-000674.hdr.sgml : 20101116 20101116171414 ACCESSION NUMBER: 0001172661-10-000674 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101116 DATE AS OF CHANGE: 20101116 EFFECTIVENESS DATE: 20101116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hollow Brook Associates LLC CENTRAL INDEX KEY: 0001455251 IRS NUMBER: 680665285 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13354 FILM NUMBER: 101197323 BUSINESS ADDRESS: STREET 1: 551 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-364-1846 MAIL ADDRESS: STREET 1: 551 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR/A 1 hol3q10a.txt FORM 13F HOLDINGS REPORT AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2010 Check here if Amendment [ X]; Amendment Number: 1 This Amendment (Check only one.): [ X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollow Brook Associates LLC Address: 551 Madison, 8th Floor New York, NY 10022 13F File Number: 28-13354 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Philip E. Richter Title: President & Chief Operating Officer Phone: (212) 364-1848 Signature, Place, and Date of Signing: /s/ Philip E. Richter New York, NY November 16, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 51 Form13F Information Table Value Total: $164,716 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AFLAC INC COM 001055102 266 5148 SH Sole 0 0 5148 AMTECH SYS INC COM PAR $0.01N 032332504 10103 562514 SH Sole 0 0 562514 ANADARKO PETE CORP COM 032511107 274 4799 SH Sole 0 0 4799 ANNALY CAP MGMT INC COM 035710409 1434 81450 SH Sole 0 0 81450 ANWORTH MORTGAGE ASSET CP COM 037347101 12148 1703834 SH Sole 0 0 1703834 APACHE CORP COM 037411105 299 3054 SH Sole 0 0 3054 BARCLAYS BK PLC IPATH S&P ST ETN 06740c527 8481 490487 SH Sole 0 0 490487 BARRICK GOLD CORP COM 067901108 2980 64368 SH Sole 0 0 64368 BERKSHIRE HATHAWAY INC DEL CL A 084670108 249 2 SH Sole 0 0 2 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 4528 138678 SH Sole 0 0 138678 CHESAPEAKE MIDSTREAM PARTNER UNIT 99/99/9999 16524k108 2050 81062 SH Sole 0 0 81062 CHIMERA INVT CORP COM 16934Q109 6254 1583387 SH Sole 0 0 1583387 CLOROX CO DEL COM 189054109 309 4625 SH Sole 0 0 4625 COCA COLA CO COM 191216100 380 6500 SH Sole 0 0 6500 COLGATE PALMOLIVE CO COM 194162103 307 4000 SH Sole 0 0 4000 CORE LABORATORIES N V COM N22717107 5023 57055 SH Sole 0 0 57055 COURIER CORP COM 222660102 184 12971 SH Sole 0 0 12971 DESTINATION MATERNITY CORP COM 25065d100 1646 50000 SH Sole 0 0 50000 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 10613 285901 SH Sole 0 0 285901 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273r109 3197 66214 SH Sole 0 0 66214 ENTERPRISE PRODS PARTNERS L COM 293792107 3288 82892 SH Sole 0 0 82892 EOG RES INC COM 26875p101 4856 52231 SH Sole 0 0 52231 EXXON MOBIL CORP COM 30231G102 821 13292 SH Sole 0 0 13292 FMC TECHNOLOGIES INC COM 30249U101 3114 45600 SH Sole 0 0 45600 GENERAL ELECTRIC CO COM 369604103 227 13983 SH Sole 0 0 13983 GOLDCORP INC NEW COM 380956409 2807 64508 SH Sole 0 0 64508 HATTERAS FINL CORP COM 41902r103 2473 86852 SH Sole 0 0 86852 INERGY L P UNIT LTD PTNR 456615103 4142 104471 SH Sole 0 0 104471 ISHARES TR BARCLYS TIPS BD 464287176 218 2000 SH Sole 0 0 2000 JOHNSON & JOHNSON COM 478160104 488 7882 SH Sole 0 0 7882 KEY TECHNOLOGY INC COM 493143101 3145 243442 SH Sole 0 0 243442 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 1976 35326 SH Sole 0 0 35326 MERCK & CO INC NEW COM 58933y105 522 14176 SH Sole 0 0 14176 MFA FINANCIAL INC COM 55272x102 9338 1223896 SH Sole 0 0 1223896 MICROSOFT CORP COM 594918104 397 16209 SH Sole 0 0 16209 MURPHY OIL CORP COM 626717102 1917 30956 SH Sole 0 0 30956 NEWMONT MINING CORP COM 651639106 3069 48867 SH Sole 0 0 48867 ONEOK INC NEW COM 682680103 6712 149016 SH Sole 0 0 149016 PENN VA GP HLDGS L P COM UNIT R LIM 70788P105 4452 194742 SH Sole 0 0 194742 PEPSICO INC COM 713448108 555 8350 SH Sole 0 0 8350 PETROQUEST ENERGY INC COM 716748108 2312 379675 SH Sole 0 0 296760 PFIZER INC COM 717081103 386 22489 SH Sole 0 0 22489 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 6945 110399 SH Sole 0 0 110399 PLANAR SYS INC COM 726900103 1743 764379 SH Sole 0 0 764379 PROSHARES TR PSHS ULSHT SP500 74347r883 9701 327846 SH Sole 0 0 327846 REAVES UTIL INCOME FD COM SH BEN INT 756158101 10177 478242 SH Sole 0 0 478242 SPDR GOLD TRUST GOLD SHS 78463v107 2932 22919 SH Sole 0 0 22919 TANDY BRANDS ACCESSORIES INC COM 875378101 706 217995 SH Sole 0 0 217995 TRANSATLANTIC PETROLEUM LTD SHS g89982105 3025 1021969 SH Sole 0 0 1021969 URANIUM RES INC COM PAR $0.001 916901507 46 37000 SH Sole 0 0 37000 WIRELESS TELECOM GROUP INC COM 976524108 1501 1978204 SH Sole 0 0 1978204
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